FIF News

FINRA to Join Front Office Committee Meeting

FINRA will be joining the FIF Front Office Committee on Tuesday, July 23 @ 4:00pm to provide a spotlight topic on the recently published joint SEC/FINRA statement on Broker-Dealer custody of digital asset securities.  If you are not a member of the Front Office Committee and would like to join, please send an email to fifinfo@fif.com

 

Posted Jul 22, 2019

FIF Submits Comment Letter on EBS to SEC

On July 17, 2019, FIF submitted a comment letter to the Securities and Exchange Commission responding to the Commission’s request for comment on the current EBS request/response process.  FIF’s comments focused on our response to the 1) recommendations intended to improve the current EBS reporting process; 2) provide feedback on the accuracy of the Commission’s estimation of the volume of EBS requests disseminated to firms; and 3) CAT as a potential solution.  Please find the full text of the comment letter here.

 

Posted Jul 22, 2019

FIF Discuss Potential Solutions to LTD Phase 3 and Rule 606 with SEC

On Wednesday, July 10, FIF joined SIFMA at a meeting with SEC Staff to discuss potential solutions to Large Trade Phase 3 through the CAT Customer/Account information database. Additionally, FIF met with SEC Division of Trading and Markets Staff to discuss SEC Rule 606.

Posted Jul 15, 2019

NEW MEMBER FIRM: HSBC

FIF is pleased to announce that HSBC has joined the FIF Community.

Posted Jul 15, 2019

NEW MEMBER FIRM: XTX Markets LLC

FIF welcomes XTX Markets LLC as new members of the FIF Community.

Posted Jul 15, 2019